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RS

Rick R. Stravato

Some features on this profile are disabled
CRD#: 2390383
RS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rick Robert Stravato, who also goes by Richard Robert Stravato, Richard Stravato, was a registered financial professional .

Rick is a previously registered financial professional and started their career in finance in 1993. Rick had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Robert Stravato | Richard Stravato

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 3, 2025 - July 30, 2025

RUSSELL INVESTMENTS

RIA
CRD#: 105734
New York, NY
Past

April 3, 2025 - July 30, 2025

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
New York, NY
Past

February 21, 2024 - February 11, 2025

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
New York, NY
Past

June 23, 2022 - February 2, 2024

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
New York, NY
Past

February 14, 2011 - June 16, 2022

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

October 18, 2005 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

April 6, 2001 - October 17, 2005

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA
CRD#: 109516
BRAINTREE, MA
Past

December 1, 1994 - October 17, 2005

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BRAINTREE, MA
Past

August 20, 1993 - October 17, 2005

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/8/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/28/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/18/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2022
General Securities Principal Examination

Current Firm

RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)
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Contact information

Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RUSSELL INVESTMENT MANAGEMENT, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts69,312
AUM (Assets Under Management)$ 62,376,876,918

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RUSSELL INVESTMENTS

CRD#: 105734

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